Notice to Members 98-93
NASD Informs Members Of District Committee Members And District Nominating Committee Members
Published Date:
| SUGGESTED ROUTING |
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Senior Management |
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) is informing NASD members of the 1999 District Committee members and the District Nominating Committee members.
Questions concerning this Notice may be directed to the District Director noted or to Joan Conley, Corporate Secretary, NASD, at (202) 728-8381.
District Committee Members And District Nominating Committee Members
Members of the 1999 District Committees and District Nominating Committees are as follows:
DISTRICT 1
| District Committee | |
| To Serve Until January 2000 | |
| Glenn M. Colacurci | Salomon Smith Barney, Inc., San Francisco, CA |
| Jerry D. Phillips | Sutro & Co., San Francisco, CA |
| William A. Svoboda | Morgan Stanley Dean Witter, San Francisco, CA |
| To Serve Until January 2001 | |
| Steven R. Aaron | Hambrecht & Quist LLC, San Francisco, CA |
| Janet W. Campbell | Protected Investors of America, San Francisco, CA |
| Douglas C. Heske | Piper Jaffray, Inc., San Francisco, CA |
| To Serve Until January 2002 | |
| John H. Chung | Van Kasper & Company, Inc., San Francisco, CA |
| Steven D. Piper | Volpe Brown Whelan & Company LLC, San Francisco, CA |
| Nominating Committee | |
| Deborah R. Gatzek | Franklin/Templeton Distributors, San Mateo, CA |
| John C. Helmer | Caldwell Securities, Danville, CA |
| Lawrence R. McKulla | Prudential Securities, San Francisco, CA |
| John J. Sanders | BancBoston Robertson Stephens, Inc., San Francisco, CA |
| John E. Schmidt | Credit Suisse First Boston, San Francisco, CA |
District Director
Elisabeth P. Owens
525 Market Street, Suite 300
San Francisco, CA 94105
(415) 882-1200
DISTRICT 2
| District Committee | |
| To Serve Until January 2000 | |
| Terry L. Chase | EVEREN Securities, Inc., Pasadena, CA |
| Rodney D. Hagenbuch | Merrill Lynch, Pierce Fenner & Smith, Inc., Los Angeles, CA |
| William J. Porter, III | The Seidler Companies, Inc., Los Angeles, CA |
| Joan B. Seidel | Morton Seidel & Company, Inc., Beverly Hills, CA |
| To Serve Until January 2001 | |
| James B. Guillou, Sr. | Sutro & Co., Incorporated, LaJolla, CA |
| Andrew E. Haas | Bear Stearns & Co., Inc., Los Angeles, CA |
| Richard E. Wiseley | CIBC Oppenheimer & Co., Los Angeles, CA |
| Richard P. Woltman | Spelman & Co., Inc., San Diego, CA |
| To Serve Until January 2002 | |
| Margaret M. Black | Morgan Stanley Dean Witter, Beverly Hills, CA |
| Diane P. Blakeslee | Blakeslee & Blakeslee, Inc., San Luis Obispo, CA |
| Jack R. Handy, Jr. | Financial Network Investment Corporation, Torrance, CA |
| Dean A. Holmes | Gateway Investment Services, Inc., Glendale, CA |
| Nominating Committee | |
| George H. Casey | Crowell Weedon & Co., Los Angeles, CA |
| William A. Hawkins | Griffin Financial Services, City of Industry, CA |
| Carl E. Lindros | Santa Barbara Securities, Inc., Santa Barbara, CA |
| Fredric M. Roberts | F. M. Roberts & Company, Los Angeles, CA |
| Robert L. Winston | American Funds Distributors, Inc., Los Angeles, CA |
District Director
Lani M. Sen Woltmann
300 South Grand Avenue, Suite 1600
Los Angeles, CA 90071
(213) 627-2122
DISTRICT 3
| District Committee | |
| To Serve Until January 2000 | |
| Timothy H. Ganahl | Ragen MacKenzie, Inc., Seattle, WA |
| Thomas A. Petrie | Petrie Parkman & Co., Inc., Denver, CO |
| Patrick C. Rile | EVEREN Securities, Inc., Phoenix, AZ |
| Douglas E. Strand | Strand, Atkinson, Williams & York, Inc., Portland, OR |
| To Serve Until January 2001 | |
| Thomas R. Hislop | Peacock, Hislop, Staley & Given, Inc., Phoenix, AZ |
| Gerald Meyer | D. A. Davidson & Co., Great Falls, MT |
| John Morton | Morton Clarke Fu & Metcalf, Inc., Seattle, WA |
| Terry Lee | Richards PaineWebber, Inc., Salt Lake City, UT |
| To Serve Until January 2002 | |
| James Barnyak | Salomon Smith Barney, Inc., Seattle, WA |
| David Griswold | Frank Russell Securities, Inc., Tacoma, WA |
| James E. Stark | Charles Schwab & Co., Phoenix, AZ |
| Thomas Williams | TIAA/CREF, Denver, CO |
| Nominating Committee | |
| Vincent Asaro | SunAmerica Securities, Inc., Phoenix, AZ |
| James Kerr | Dain Rauscher Incorporated, Seattle, WA |
| William Papes | WM Funds Distributor, Inc., Spokane, WA |
| Anthony Petrelli | Neidiger Tucker Bruner, Inc., Denver, CO |
| Richard Royse | Salomon Smith Barney, Inc., Portland, OR |
District Director
Frank J. Birgfeld
Republic Plaza Building
370 17th Street, Suite 2900
Denver, CO 80202-5629
(303) 446-3100
James G. Dawson, Associate Director
Two Union Square
601 Union Street, Suite 1616
Seattle, WA 98101-2327
(206) 624-0790
DISTRICT 4
| District Committee | |
| To Serve Until January 2000 | |
| Colleen Curran | American Express Financial Advisors, Inc., Minneapolis, MN |
| Arthur J. Kearney | John G. Kinnard & Company Inc., Minneapolis, MN |
| John R. Kuddes | Merrill Lynch, Pierce, Smith Incorporated, Overland Park, KS |
| Wayne H. Peterson | Washington Square Securities, Inc., Minneapolis, MN |
| To Serve Until January 2001 | |
| Antonio J. Cecin | Piper Jaffray Inc., Minneapolis, MN |
| Cheryl Cook-Schneider | Edward Jones, St. Louis, MO |
| Robert J. Goodmanson | Robert W. Baird & Co., Inc., St. Paul, MN |
| Brent M. Weisenborn | Security Investment Company of Kansas City, Kansas City, MO |
| To Serve Until January 2002 | |
| Robert M. Chambers | Chambers Martin & Co., Des Moines, IA |
| John R. Lepley | Princor Financial Services Corp., Des Moines, IA |
| William M. Lyons | American Century Investment Services, Inc., Kansas City, MO |
| Nancy E. Varner | Mercantile Investment Services, Inc., St. Louis, MO |
| Nominating Committee | |
| Patricia S. Bartholomew | Craig-Hallum Capital Group, Inc., Minneapolis, MN |
| Edward J. Berkson | Locust Street Securities, Inc., Des Moines, IA |
| Norman Frager | Walnut Street Securities, St. Louis, MO |
| Albert W. Lauth | First St. Louis Securities, Inc., St. Louis, MO |
| Todd W. Miller | Miller, Johnson & Kuehn, Inc., Minneapolis, MN |
District Director
Jack Rosenfield
120 W. 12th Street, Suite 900
Kansas City, MO 64105
(816) 421-5700
DISTRICT 5
| District Committee | |
| To Serve Until January 2000 | |
| R. Neal Culver | Culver Financial Management, Inc., Knoxville, TN |
| J. French Hill | First Commercial Investments, Inc., Little Rock, AR |
| Walter H. Johnson | Leo Oppenheim & Co., Inc., Oklahoma City, OK |
| To Serve Until January 2001 | |
| Benjamin D. Capshaw, III | Morgan Stanley Dean Witter, New Orleans, LA |
| James S. Jones | Crews & Associates, Inc., Little Rock, AR |
| Dene R. Shipp | SunTrust Equitable Securities, Nashville, TN |
| John C. West | Prudential Securities, Inc., Memphis, TN |
| To Serve Until January 2002 | |
| James D. Hudgins | SouthTrust Securities, Inc., Birmingham, AL |
| Leroy H. Paris, II | Mississippi Securities Company, Jackson, MS |
| Duncan F. Williams | Duncan-Williams, Inc., Memphis, TN |
| Nominating Committee | |
| H. Kenneth Bennett | Stephens, Inc., Little Rock, AR |
| James C. Bradford, Jr. | J.C. Bradford & Co., Nashville, TN |
| Bill Carty | Carty & Company, Inc., Memphis, TN |
| William T. Patterson | Morgan Keegan & Company, Inc., Jackson, MS |
| Kenneth L. Wagner | J.J.B. Hilliard, W.L. Lyons, Inc., Louisville, KY |
District Director
Warren A. Butler, Jr.
1100 Poydras Street
Energy Centre, Suite 850
New Orleans, LA 70163-0802
(504) 522-6527
DISTRICT 6
| District Committee | |
| To Serve Until January 2000 | |
| William D. Connally | Greenman Parker Connally Greenman, Inc., Ft. Worth, TX |
| Titus H. Harris | Harris Webb & Garrison, Inc., Houston, TX |
| Edward M. Milkie | Milkie Ferguson Investments, Inc., Dallas, TX |
| To Serve Until January 2001 | |
| Daniel C. Dooley | May Financial, Inc., Dallas, TX |
| Ronald J. Gard | Salomon Smith Barney, Inc., Dallas, TX |
| Jim G. Rhodes | Rhodes Securities, Inc., Ft. Worth, TX |
| To Serve Until January 2002 | |
| Fred McGinnis | PaineWebber, Houston, TX |
| Sue Peden | Brokers Transaction Services, Inc., Dallas, TX |
| Joseph Storthz | Transamerica Financial Resources, Houston, TX |
| Nominating Committee | |
| John W. Ferguson | May Financial Corp., Dallas, TX |
| Robert Gunn, III | Gunn & Company Incorporated, San Antonio, TX |
| Bill Madden | Madden Securities Corporation, Dallas, TX |
| Gary Murray | Murray Traff Securities, Inc., Tyler, TX |
| George Stark | Burnham Securities, Inc., Houston, TX |
District Director
Bernerd Young, Associate Director
12801 N. Central Expressway, Suite 1050
Dallas, TX 75243
(972) 701-8554
DISTRICT 7
| District Committee | |
| To Serve Until January 2000 | |
| Robert J. Brietz | Marion Bass Securities Corporation, Charlotte, NC |
| William H. Carter | J.C. Bradford & Co., Raleigh, NC |
| Dan B. Franks | Scott & Stringfellow, Inc., Richmond, VA |
| George K. Jennison | Wheat First Union, Richmond, VA |
| David G. Pittinos | Morgan Stanley Dean Witter, Tallahassee, FL |
| R. Charles Shufeldt | SunTrust Equitable Securities Corporation, Atlanta, GA |
| To Serve Until January 2001 | |
| Mary Jae Abbitt | Anderson & Strudwick, Incorporated, Richmond, VA |
| Robert M. Balentine | Balentine & Company, Atlanta, GA |
| James J. Buddle | Capital Brokerage Corporation, Richmond, VA |
| M. Anthony Greene | Investment Management & Research, Inc., Atlanta, GA |
| J. Lee Keiger III | Davenport & Company LLC, Richmond, VA |
| Raymond W. Snow | BT Alex. Brown Incorporated, Palm Beach, FL |
| To Serve Until January 2002 | |
| Perrin Q. Dargan, Jr. | A.G. Edwards & Sons, Inc., Pawleys Island, SC |
| James W. Hamilton, Jr. | Prudential Securities Incorporated, Atlanta, GA |
| Edward R. Hipp, III | Centura Securities, Inc., Rocky Mount, NC |
| Roark A. Young | Young, Stovall and Company, Miami, FL |
| Nominating Committee | |
| John L. Dixom | Mutual Service Corporation, West Palm Beach, FL |
| Franklin C. Golden | James M. Myers and Co., Charlotte, NC |
| W. Robb Hough, Jr. | William R. Hough & Co., St. Petersburg, FL |
| Stuart J. Knobel | Edgar M. Norris & Co., Inc., Anderson, SC |
| Richard V. McGalliard | Interstate/Johnson Lane Corporation, Atlanta, GA |
District Director
Marilyn B. Davis
One Securities Centre, Suite 500
3490 Piedmont Road, NE
Atlanta, GA 30305
(404) 239-6100
DISTRICT 8
| District Committee | |
| To Serve Until January 2000 | |
| James A. Bowen | Nike Securities, Inc., Lisle, IL |
| William L. Faulkner | Continental Capital Securities, Inc., Sylvania, OH |
| Peter C. McCabe, Jr. | Securities Corporation of Iowa, Chicago, IL |
| Anthony M. Sanfilippo | Trimark Securities, L.P., Chicago, IL |
| John L. Schlifer | McDonald Investments, Inc., Cleveland, OH |
| To Serve Until January 2001 | |
| William C. Alsover | Centennial Securities Company, Inc., Grand Rapids, MI |
| Wallen L. Crane | Salomon Smith Barney, Inc., Farmington Hills, MI |
| Kenneth R. Ehinger | Lincoln Financial Advisors Corp., Fort Wayne, IN |
| Alan H. Newman | J.J.B. Hilliard, W.L. Lyons, Inc., Evansville, IN |
| Bruce J. Young | Mesirow Financial, Inc., Chicago, IL |
| To Serve Until January 2002 | |
| R. Jack Conley | VESTAX Securities Corporation, Hudson, OH |
| Mary D. Esser | Cressman Esser Securities, Inc., Naperville, IL |
| Glen Hackmann | Robert W. Baird & Co., Inc., Milwaukee, WI |
| Robert A. Perrier | Butler, Wick & Co., Inc., Cleveland, OH |
| Kathleen A. Wieland | William Blair & Company, L.L.C., Chicago, IL |
| Nominating Committee | |
| Kathy J. Birk | Morgan Stanley Dean Witter, Carmel, IN |
| Lewis H. Echlin | Roney & Co., L.L.C., Detroit, MI |
| Paul Murin | David A. Noyes & Co., Chicago, IL |
| Earl Clifford Oberlin, III | MFI Investments Corp., Bryan, OH |
| William H. Richardson | Trubee, Collins & Co., Inc., Buffalo, NY |
District Director
Carlotta A. Romano
10 South LaSalle, 20th Floor
Chicago, IL 60603-1002
(312) 899-4400
William H. Jackson, Jr.
Renaissance on Playhouse Square
1350 Euclid Avenue, Suite 650
Cleveland, OH 44115
(216) 694-4545
DISTRICT 9
| District Committee | |
| To Serve Until January 2000 | |
| Irving A. Faigen | Prudential Securities Incorporated, Pittsburgh, PA |
| Allen S. Jacobson | Gibraltar Securities Co., Florham Park, NJ |
| James Malespina | Herzog, Heine, Geduld, Inc., Jersey City, NJ |
| William F. Rienhoff IV | BT Alex. Brown Incorporated, Baltimore, MD |
| To Serve Until January 2001 | |
| Victor M. Frye | The Advisors Group, Inc., Bethesda, MD |
| Phillip C. Graham | Legg Mason Wood Walker, Incorporated, Philadelphia, PA |
| Jerome J. Murphy | Janney Montgomery Scott Inc., Philadelphia, PA |
| To Serve Until January 2002 | |
| A. Louis Denton | Philadelphia Corporation for Investment Services, Philadelphia, PA |
| Thomas W. Neumann | Sherwood Securities Corp., Jersey City, NJ |
| Joseph S. Rizzello | Vanguard Marketing Corporation, Valley Forge, PA |
| Gregory R. Zappala | RRZ Public Markets, Inc., Cranberry Township, PA |
| Nominating Committee | |
| Mark W. Cresap | Cresap, Inc., Radnor, PA |
| John J. Gray | Janney Montgomery Scott Inc., Philadelphia, PA |
| Dennis V. Marino | Sherwood Securities Corp., Jersey City, NJ |
| Eric H. Pookrum | Innova Securities, Inc., Suitland, MD |
| Robert A. Woeber | Arthurs, Lestrange & Company Incorporated, Pittsburgh, PA |
District Director
John P. Nocella
11 Penn Center
1835 Market Street, Suite 1900
Philadelphia, PA 19103
(215) 665-1180
DISTRICT 10
| District Committee | |
| To Serve Until January 2000 | |
| Joan Caridi | Salomon Smith Barney, Inc., New York, NY |
| Harold G. Ognelodh | M. R. Beal & Company, New York, NY |
| Brian T. Shea | Pershing, Division of Donaldson, Lufkin & Jenrette Securities Corporation, Jersey City, NJ |
| To Serve Until January 2001 | |
| Herbert Ackerman | Neuberger & Berman, LLC, New York, NY |
| Arthur S. Ainsberg | Brahman Securities Inc., New York, NY |
| Williams P. Behrens | Ernst & Co., New York, NY |
| Laurence H. Bertan | Sanford C. Bernstein & Co., Inc., New York, NY |
| Mark D. Madoff | Bernard L. Madoff Investment Securities, New York, NY |
| Stuart L. Sindell | Dillon, Read & Co., Inc., New York, NY |
| To Serve Until January 2002 | |
| John Iachello | Ing Baring Furman Selz, New York, NY |
| Philip V. Oppenheimer | Oppenheimer & Close Inc., New York, NY |
| Gary Salamone | Schroder & Co. Inc., New York, NY |
| Eugene A. Schlanger | Nomura Securities International, Inc., New York, NY |
| Lawrence F. Sherman | Mony Securities Corp., New York, NY |
| Tom M. Wirtshafter | Nathan & Lewis Securities Inc., New York, NY |
| Nominating Committee | |
| Michael F. Dura | Schroder & Co., Inc., New York, NY |
| Joseph A. Gottlieb | Bear, Stearns & Co. Inc., New York, NY |
| Joan S. Green | BT Brokerage Corporation, New York, NY |
| Norman H. Pessin | Neuberger & Berman, LLC, New York, NY |
| Stuart J. Voisin | Stuart, Coleman & Co., Inc., New York, NY |
District Director
Barbara Cody, Deputy Director
Gary Liebowitz, Deputy Director
NASD Financial Center
33 Whitehall Street
New York, NY 10004
(212) 858-4000
DISTRICT 11
| District Committee | |
| To Serve Until January 2000 | |
| Harry H. Branning | Advest, Inc., Hartford, CT |
| Stephanie Brown | Linsco/Private Ledger Corp., Boston, MA |
| David C. Gowell | Gowell Securities Corp., Boston, MA |
| William N. Shiebler | Putnam Mutual Funds Corp., Boston, MA |
| To Serve Until January 2001 | |
| Michael J. Dell'Olio | Investment Management and Research, Inc., South Portland, ME |
| Frank V. Knox, Jr. | Fidelity Distributors Corporation, Boston, MA |
| Laurie Lennox | SunLife of Canada (U.S.) Distributors, Inc., Boston, MA |
| Kenneth Unger | Boston Capital Services, Inc., Boston, MA |
| To Serve Until January 2002 | |
| Stephen O. Buff | BancBoston Robertson Stephens, Inc., Boston, MA |
| Gerard A. Rocchi | W.S. Griffith & Co., Inc., Hartford, CT |
| James P. Rybeck | The RYBECK, Division of Fechtor, Detwiler & Co., Inc., Meriden, CT |
| Dennis R. Surprenant | Cantella & Co., Inc., Boston, MA |
| Nominating Committee | |
| John A. Goc | Boston Institutional Services, Boston, MA |
| Grant Kurtz | Advest, Inc., Hartford, CT |
| Wilson G. Saville | Barrett & Company, Providence, RI |
| Edward L. Sherr | Carl P. Sherr & Company, Worcester, MA |
| Mary Toumpas | American Skandia Marketing, Inc., Shelton, CT |
District Director
Willis H. Riccio
260 Franklin Street, 16th Floor
Boston, MA 02110
(617) 261-0800